Park Avenue Securities LLC

Broker Robert Wynn in Park Avenue Securities LLC Firm Has Customer Complaint

April 29, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Wynn (Wynn), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wynn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on June 30, 2020.

Claimants allege the RR invested their money in unsuitable investments based on their stated investment objectives.

Broker Caleb Stephens in Park Avenue Securities LLC Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Caleb Stephens (Stephens), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stephens recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $72,000.00 on January 17, 2021.

The client alleges that the financial advisor provided poor advice regarding July 2017 IRA distribution.

There are Recent Customer Complaints with Broker Erik Antener in Firm Park Avenue Securities LLC

April 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erik Antener (Antener), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Antener recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $150,000.00 on February 03, 2026.

Customer filed a FINRA arbitration alleging, among other things, that the registered representative engaged in unauthorized and unsuitable trading in connection with her investment accounts, including allegations that trades were effected without her knowledge or consent and without proper authorization. The matter remains pending.

There are Recent Customer Complaints with Broker Richard Brewington in Firm Park Avenue Securities LLC

April 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Brewington (Brewington), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brewington recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00 on February 12, 2026.

[REDACTED] as the Executrix of the Estate of [REDACTED] filed a FINRA arbitration to recover financial losses, claiming that a Park Avenue Securities Registered Representative was negligent and breached their fiduciary duty.

Broker Catherine Kennedy in Park Avenue Securities LLC Firm Has Customer Complaint

March 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Kennedy (Kennedy), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kennedy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $166,859.00 on November 06, 2020.

The Customer alleges that for a period of a year, the RR failed to follow her instructions to invest her retirement funds, resulting in significant market loss. The Customer is seeking reimbursement for damages.

There are Recent Customer Complaints with Broker Glenn Arons in Firm Park Avenue Securities LLC

February 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Arons (Arons), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arons recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $315,000.00 on March 16, 2021.

Claimants allege the RR violated his suitability obligation and was negligent in recommending investments in three private equity ventures.

There are Recent Customer Complaints with Broker David Stevens in Firm Park Avenue Securities LLC

January 14, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Stevens (Stevens), previously associated with Park Avenue Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Stevens recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on March 21, 2022.

Without admitting or denying the findings, Stevens consented to the sanction and to the entry of findings that he submitted multiple life insurance applications for a customer, worth $23,950,000, and submitted applications for multiple loans on the policies, totaling approximately $1,000,000. The findings stated that when questioned by his member firm about the customer\\u2019s policies and loans, Stevens submitted two letters regarding the customer\\u2019s reasons for taking out the policies and loans, one purportedly from the customer\\u2019s estate attorney and the other purportedly from the customer\\u2019s accountant. Neither letter was genuine, but rather, Stevens created and falsified both letters prior to submitting them to the firm.

Broker Aaron Puttroff in Park Avenue Securities LLC Firm Has Customer Complaint

October 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Puttroff (Puttroff), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Puttroff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on September 05, 2025.

The Client alleged the RR made unsuitable recommendations regarding investments in mutual funds. The Client is requesting damages for lost opportunity cost.

There are Recent Customer Complaints with Broker Jeremy Dicker in Firm Park Avenue Securities LLC

September 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Dicker (Dicker), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dicker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on January 27, 2023.

Client alleges the RR sold all of the equities in her advisory portfolio which created a long term capital gains tax liability.

Broker Chihyu Hsu in Park Avenue Securities LLC Firm Has Customer Complaint

September 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chihyu Hsu (Hsu), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hsu recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $77,000.00 on July 17, 2025.

The customer alleges that two years ago, the RR facilitated the transfer of funds from the customer’s IRA into the customer’s personal checking account, with the stated intention of using the funds to purchase an annuity with Brighthouse Financial. Following this, and at the RR’s instruction, the customer transferred the funds from his checking account to the RR’s personal bank account. The customer claims he has never received any documentation or confirmation of the annuity and has been unable to contact the RR despite repeated attempts.